COMMSEC ADVISER SERVICES USER GUIDE

Transcription

1 COMMSEC ADVISER SERVICES USER GUIDE Welcome to the CommSec Adviser Services trading website, offering market-leading functionality to help you get more from your online trading and investing: Powerful charting giving you valuable insight into client holdings and the market Advanced features including conditional orders, options trading, trading alerts and access to our Research Plus information packages Straight through processing to get your trades to market fast Convenient and feature-rich cash management service through the optional CBA Accelerator Cash Account and Term Deposit Online reporting tools to better manage your clients account keeping efforts

2 TABLE OF CONTENTS 01 Logging into the CommSec Adviser Services trading website:...3 For Clients...3 Manage Passwords Your Customisable Homepage Finding a Client Quick Links Menu Adding a new client Trade Settlement Placing an Equity Trade a Placing an equity trade via Single Stock, Multi-Client trading functionality b Placing an equity trade via Multi-Stock, Single Client trading functionality Issuer Sponsored Selling Placing an Options Trade Smart Portfolio CBA Cash Management Services Opening an ACA and Term Deposit for New Clients: Opening an ACA and Term Deposit for Existing Clients Viewing Your Clients ACAs Online Transferring Your Clients Funds Online Pay a Biller with Bpay Categorise Transactions Activating the Dividend Direction Service a De-activating the Dividend Direction Service Research tools Alerts Quotes Enhanced charting Custom Portfolios and Watchlists Report Centre Report Queue Administration Resetting your password Batch Fee Collection Alerts & Subscriptions Forms & Downloads Logging Out Any Questions? COMMSEC ADVISER SERVICES USER GUIDE 2 of 35

3 01. LOGGING INTO THE COMMSEC ADVISER SERVICES TRADING WEBSITE: To login to your account, enter your Username and Password details into the login box located in the top right-hand corner of the screen. View-only access allows clients to conveniently view their holdings, financial transaction information, confirmation contract notes, quotes and research, without the ability to place trades or see other client information. For Clients: The CommSec Adviser Services trading website gives Advisers the ability to provide clients with view-only access to key website functions and information. View-only access is nominated, along with the client Username and Password, when adding a new client through the Add Client process. Clients may then use these details to login at If you would like to grant or modify view-only access for an existing client, you can do so by contacting the Customer Support Team on Manage Passwords: To change your password online, click on Administration on the top toolbar and select Manage Passwords. 3 of 35

4 02. YOUR CUSTOMISABLE HOMEPAGE Customise your homepage and choose to see what s most important to you. When customising your homepage, choose from a range of information and functions including the latest News Feeds, Market Update, Market Watch, Watchlist, All Ords, Market Indices and Exchange Rates. Using the Manage My Homepage feature, you can customise the logged in homepage to suit your needs. Simply click Show in the top right corner to launch the Manage My Homepage window and select the content items you want to display. 4 of 35

5 03. FINDING A CLIENT To locate an existing client, click on the My Clients tab on the menu, then Find Client. You will be taken to the Find Client page where you can search for clients by account name or number, filter by cash or trading accounts, or view a list of all client accounts. To select a client or account, click on the account name. Client Search You can change your selected client at any time by clicking Change in the Quick Links menu bar. Alternatively, navigate to the Find Client page by clicking on My Clients> Find Client which includes separate Account and Client search functions. Search by Account Name or Number to find a specific account, or by Client Name for all accounts associated with a client 5 of 35

6 04. QUICK LINKS MENU Once you have selected a client, the Quick Links navigation toolbar will appear. Quick Links helps you access important parts of the website faster and is always visible just below the login details box at the top right of the screen. The Quick Links menu gives you one-click access to the most popular functions from any page in the site. Quick Links navigation will appear once you have selected a client. Roll over the icons in the menu with your mouse cursor to display the text explanations. Client Search You can change your selected client at any time by clicking Change in the Quick Links menu bar. So wherever you are on the website, you re never more than one-click away from the most popular functions including Buy, Sell, Quotes and the Account Snapshot feature. 6 of 35

7 05. ADDING A NEW CLIENT To set up a new client account, click My Clients on the menu then Add Client. Setting up a new client account is a simple 6 step process, and should take you less than ten minutes to complete. Dividend Direction You can now select to have your clients dividends paid directly into their linked Commonwealth Bank Accelerator Cash Account (CBA ACA) either when setting up new clients or via the Client Account Details page. To access the Client Account Details page, select My Clients >Personal & Account Details from the top menu and click on the Account Details tab. We ll then provide your client s Account Number and BSB to the share registries automatically for their existing and new holdings each time you purchase securities on their CommSec Adviser Services 1 CHESS sponsored Share Trading Account. For further information, see section 5a and 5b. CommSec Adviser Services is a brand of Commonwealth Bank of Australia (CBA) ABN AFSL and Australian credit licence Share Trading through CommSec Adviser Services is a service provided by Australian Investment Exchange Ltd (AUSIEX) ABN AFSL , a Participant of the ASX Group and Chi-X Australia. Please note: Not all companies or share registries support electronic payment of dividends or their direction. 1 If your client holds shares in one of these companies, they may still receive a dividend cheque sent to their registered address. Once you have completed the online application you will need to print and sign the application form and post with supporting documentation. Avoid completing multiple forms and save time by taking advantage of the online integrated application. With the ease of one click, you can opt to apply for a CBA Accelerator Cash Account for your client combined with the trading account. 7 of 35

8 06. TRADE SETTLEMENT There are three options available for the settlement of funds: Direct Debit, Third Party Margin Loan or Cash Management Account. 1. Direct Debit: As an Adviser you are able to place trades on behalf of clients on credit. Funds are then transferred by direct debit to/ from your client s nominated account at the time of settlement (usually T + 3). 2. Third Party Margin Loan: The CommSec Adviser Services trading website allows settlement to any nominated third party margin loan. Clients can update their nominated account details by completing and returning the Change of Payment Options - Direct Debit/ Direct Credit Request form. This form can be accessed from either the Administration > Forms & Downloads > Forms or My Clients > Client Profile > Personal & Account Details pages. 3. Cash Management Account The Commonwealth Bank s (CBA) Accelerator Cash Account (ACA): Elect to open an ACA for your client during the Add Client process and the account will be automatically nominated for settlement and provide you with the ability to seamlessly view your client s account balance and transaction history via the CommSec Adviser Services trading website. 8 of 35

9 07. PLACING AN EQUITY TRADE We ve made placing a share trade quick and easy by giving you the ability to place a trade in a number of different ways: From the Quotes page, once you ve located your desired security, click Buy or Sell. From your Watchlist or Portfolio click on a stock to be taken to the Quotes Page. From there you can choose to Buy or Sell as described above. You can also place an order from the Share Orders > Place Order page under Trading in the main menu. To place an order you will first need to select a client. If you have not selected a client you will be redirected to the My Clients > Find Client screen to select one. Once you have selected a client, to place an order from the Share Orders > Place Order page simply complete all fields marked with a red asterisk and follow the prompts. You can learn more about what information is required in each of the fields by hovering your mouse curser over the question marks to the left of each field. 1. Search for all equity codes using the predictive stock picker 2. Quote and market depth views are available from within the Order Pad so price adjustments can be made immediately 3. Order estimates are displayed dynamically once all fields in the Order Pad are completed 4. View your available credit within the Order Pad before completing a transaction. Buy or sell an equity from any page using the Buy (+) or Sell (-) icon in the Quick Links menu beneath the login box at the top right of the screen. 9 of 35

10 07 a. PLACING AN EQUITY TRADE VIA SINGLE STOCK, MULTI-CLIENT TRADING FUNCTIONALITY There are two ways to access the Single Stock, Multi-Client order pad: 1. From the My Clients > Find Client page; and 2. By clicking on Trading in the top menu and selecting Single Stock, Multi-Client When starting from the My Clients > Find Client page, tick the boxes to the left of each client record to select the clients you wish to place a trade for and click Place Multi-Client Order. Step 1. Set up Complete the order details in first section of the page as you would for a single order and select Apply Instructions to apply them to each client. Amend the order details for individual clients if required and click Proceed to review before placing order. Step 2. Review COMMSEC ADVISER SERVICES USER GUIDE 1. Get multiple clients in or out of a single stock faster and more efficiently than ever before 2. Apply order instructions to multiple clients or modify order instructions at an individual client level 3. Handy alert icons highlight any potential issues with the order before you proceed 1. Once you select two or more clients, the Place Multi-Client Order button will appear 2. Select up to 20 clients per trade 3. Easily toggle between dollar or percent-based brokerage Review your or order then confirm your approval by entering your trading password and clicking Submit. Step 3. Confirmation You will now receive a confirmation of your order. 10 of 35

11 07 b. PLACING AN EQUITY TRADE VIA MULTI-STOCK, SINGLE CLIENT TRADING FUNCTIONALITY There are several ways to place a Multi-Stock trade for a client: 1. To new stocks for a client, use the Multi- Stock, Single Client order pad from Trading in the top menu; and 2. To or stocks a client currently holds, use the Holdings page (Client Portfolio > Holdings). 3. multiple stocks for a client directly from your watchlists. Step 1. Setup Within the Setup screen, simply type in the stock code or description of each stock and select Add to Order. Select the relevant brokerage option for this client and click Proceed. Step 2. Review Review your or order then confirm your approval by entering your trading password and clicking Submit. Step 3. Confirmation You will now receive a confirmation of your order. COMMSEC ADVISER SERVICES USER GUIDE 1. Rebalance client portfolios and respond quickly to market movements promptly and efficiently 2. Apply order instructions to multiple stocks or modify order instructions at an individual stock level 3. Handy alert icons highlight any potential issues with the order before you proceed 1. Select up to 20 stocks per trade 2. Easily toggle between a Price and At Market options as well as Quantity and Value 11 of 35

12 08. ISSUER SPONSORED SELLING There are two ways to sell issuer sponsored shares: 1. Over the phone through our Trading Room. 2. Online via the standard Place Order Share Orders screen by selecting Trading > Share Orders > Place Order. As per the process for placing a share trade, you must first select a client. If you have not selected a client you will be redirected to the My Clients > Find Client screen. To sell your clients Issuer Sponsored holdings simply select Sell under Order Type in the order pad and enter the Issuer Sponsored SRN (Security Reference Number) when prompted under Settlement. Buy or sell both participant sponsored and issuer sponsored equities from the one convenient screen. You can add and manage Issuer Sponsored holdings for your clients from within the My Clients > Client Portfolio > Holdings screen using the Add Issuer Sponsored Holdings function. To place a trade for another client, simply select Change from the Quick Links menu in the top right corner of your screen. 12 of 35

13 09. PLACING AN OPTIONS TRADE Important: Before you can begin trading Options on behalf of your client, your client will need to apply for an Options trading account. To apply for an Options trading account, download and complete the Exchange Traded Options PDS and application form and return the application form to us. Advisers can assist by filling out the application on behalf of the client. Before doing this however, please ensure your client receives a copy of the ETO PDS. The PDS and application can be accessed from the website under Administration > Forms & Downloads > Forms in the main menu. Placing an Options trade is similar to placing an Equity trade and can be done in a number of ways: After locating the desired Options security on the Quotes page, click Buy or Sell. Click on an Options security from within your Watchlist or Portfolio. This will take you to the Quotes screen for the security where you can choose Buy or Sell as described above. You can also place an order via the Place Order Options page under Trading in the main menu. To place an Options trade you will first need to select a client with an Options trading account. Once you have selected a client, place an Options trade via the Place Order Options page by completing all fields marked with a red asterisk and follow the prompts. 1. Search for all equity codes using the predictive stock picker 2. Ensure the search returns only relevant results by selecting Options from the Type drop down box 3. Quote information is available from within the Order Pad so price adjustments can be made immediately 4. Order estimates are displayed dynamically once all fields in the Order Pad are completed 5. View your available credit within the Order Pad before completing a transaction. Access the Place Order Options screen by selecting Trading > Options Orders > Place Order from the main menu. The Exchange Traded Options Product Disclosure Statement issued by Australian Investment Exchange Ltd ABN AFSL is available from commsecadviserservices.com.au and should be considered before making any decisions about this product. As this information has been prepared without considering you, or your clients objectives, financial situation or needs, you and your client should before acting on this information, consider its appropriateness to your clients circumstances. Fees, charges and approval process applies. 13 of 35

14 10. SMART PORTFOLIO The Portfolio section allows you to see a range of portfolio information for a particular client: Portfolio Account Summary Holdings Confirmations Financial Transactions Options Statements (if applicable) Get an overview of your client s entire position quickly and easily. Access the Portfolio screen by selecting My Clients > Client Portfolio > Portfolio from the main menu, or select Portfolio from the Quick Links menu. The Cash Portfolio section provides and effortless overview of the CBA ACA account balances. If the ACA is linked to a Trading Account, the Trading Account Number will be displayed in the Linked Account # column. For these linked accounts you will transaction visibility. For a standalone ACA, only the balance will be displayed. 14 of 35

15 11. CBA CASH MANAGEMENT SERVICES Incorporating the Commonwealth Bank s Accelerator Cash Account (ACA) and Term Deposit products, the CBA Cash Management Services offer visibility and control of your clients investments and cash flow. Seamlessly integrated into the CommSec Adviser Services trading website, the Accelerator Cash Account: Lets you confidently manage your clients trading with visibility and control of client balances and transactions within CommSec Adviser Services as well as some third party software packages Saves you time with the option of opening an Accelerator Cash Account for your clients during the trading account origination process Makes managing client cash flow and investments easy with the ability to transact on the client s behalf with a signed Authority to Operate in place View client account balances and financial transactions through the CommSec Adviser Services trading website Transfer client funds between linked client Commonwealth Bank accounts and to any Australian third party account Data feeds to some third party software packages let you view client account balances and transactions through your planning tool Can be linked to a CBA Term Deposit to create a convenient, fully-featured cash hub Accelerator Cash Account and Term Deposit are products of the Commonwealth Bank of Australia ABN AFSL ( Bank ) and are administrated by Australian Investment Exchange Ltd ABN AFSL No ( AUSIEX ) under the brand of CommSec Adviser Services. AUSIEX is a wholly owned but not guaranteed subsidiary of the Bank. This information has been prepared without taking into account the objectives, financial situation or needs of any particular individual. For this reason, any individual should, before acting on this information, consider the appropriateness of the information, having regard to their objectives, financial situation and needs and, if necessary, seek professional advice. Fees and charges apply. Please consider the General Information Statement and full terms and conditions available on application. 15 of 35

16 12. OPENING AN ACA AND TERM DEPOSIT Opening an ACA and Term Deposit for New Clients: 1. Simply select CBA Accelerator Cash Account in step 3 of the online origination process. 2. Print the application form, complete the additional information, sign and post to CommSec Adviser Services Cash Team, Locked Bag 34, Australia Square NSW 1214 along with any required supporting documentation. 3. Once the ACA is established, advisers can also elect to open a term deposit account on the client s behalf by completing the standalone Term Deposit Application form found on the Forms page. Extensive information as standard including: LexisNexis News Stand Company Announcements Enhanced market data including Market Indices, S&P ASX50, Sector Analysis and Market Watch The Print Screen button can be located on the upper ride side of every page. It is a useful function in sending the images and text currently on the display screen to the Printer. Opening an ACA and Term Deposit for Existing Clients 1. Download and complete the Accelerator Cash Account and Term Deposit Application Form available on the Forms page, print and sign the application and post to CommSec Adviser Services Cash Team, Locked Bag 34, Australia Square NSW 1214 along with any required supporting documentation. 2. Complete the Change of Payment Options and Direct Debit/Direct Credit Request form available from the Forms page to change your client s existing settlement method to their new Accelerator Cash Account. 16 of 35

17 13. VIEWING YOUR CLIENTS ACAS ONLINE You can view your clients Accelerator Cash Accounts by clicking the account name on the Find Client Page. You ll be taken to the Financial Transactions page where you can view the overnight balances of accounts and account transactions. You can click the Download CSV link to download a CSV report of financial transactions for the selected ACA. The balance displayed on the Financial Transactions page is your client s ACA overnight balance. 17 of 35

18 14. TRANSFERRING YOUR CLIENTS FUNDS ONLINE COMMSEC ADVISER SERVICES USER GUIDE When making an Online Funds Transfer you have the option to transfer to either a nominated or non-nominated account. Nominated accounts are perfect for any accounts you will be transferring client funds to on a regular basis while non-nominated accounts are great for one-off or irregular transfers. The benefit of nominating an account is all the account details are saved in the system, eliminating the need to enter in BSB and account details each time. Nominated accounts are also pre-approved, removing the need for the client to authorise each transfer, allowing for a more seamless, faster transfer. The Online Funds Transfer functionality can be accessed two ways: 1. Select My Client > Find Client from the top menu. Choose your client and click Select Action > Funds Transfer 2. Select Administration > Funds Transfer from the top menu Performing an Online Funds Transfer is a simple three step process: 1. Enter transfer details (transfer to either a nominated or non-nominated account) 2. Review transfer details 3. Submit transfer Transfer funds from your clients accounts to any Australian bank account Transfer to nominated and non-nominated accounts Add up to 10 nominated accounts per client Notify your clients of each transfer with automatic notification s Keep track of every transfer via the Transfer History feature Transfer up to $30,000 per client and up to $200,000 across all client accounts per day. If you choose to transfer to a non-nominated account the account details you enter will not save in the system and will have to be re-entered for any future transfers to that particular account. To add a nominated account the client must complete, sign and return a Direct Credit Nomination form. [email protected] Find Out More To learn more about Online Funds Transfers download the Cash Portal User Guide by selecting Products & Services > Cash Management > Resources from the top menu. Accelerator Cash Account and Term Deposit are products of the Commonwealth Bank of Australia ABN AFSL ( Bank ) and are administrated by Australian Investment Exchange Ltd ABN AFSL No ( AUSIEX ) under the brand of CommSec Adviser Services. AUSIEX is a wholly owned but not guaranteed subsidiary of the Bank. This information has been prepared without taking into account the objectives, financial situation or needs of any particular individual. For this reason, any individual should, before acting on this information, consider the appropriateness of the information, having regard to their objectives, financial situation and needs and, if necessary, seek professional advice. Fees and charges apply. Please consider the General Information Statement and full terms and conditions available on application. 18 of 35

19 15. PAY A BILLER WITH Bpay Seamlessly pay utilities, rates and other bills on behalf of your clients to any Australian Bpay Biller. The Bpay functionality can be accessed two ways: 1. Select My Client > Find Client from the top menu. Choose your client and click Select Action > Funds Transfer 2. Select Administration > Funds Transfer from the top menu Performing a Bpay transaction is a simple three step process: 1. Enter Biller details 2. Review transaction details 3. Submit transfer COMMSEC ADVISER SERVICES USER GUIDE Transfer up to $30,000 per client and up to $200,000 across all client accounts per day. Keep track of every Bpay transaction via the Transfer History feature. Find Out More To learn more about making a Bpay transaction, download the Cash Portal User Guide by selecting Products & Services > Cash Management > Resources from the top menu. [email protected] 19 of 35

20 16. CATEGORISE TRANSACTIONS Categorise your clients transactions to simplify client cash-flow management. Simply select My Client > Find Client from the top menu, and then choose the client you wish to view. You can then use the symbol to categorise a transaction. Easily search for transactions by keyword, transaction type, amount, date range and category filters. Find Out More To learn more about categorising transactions, download the Cash Portal User Guide by selecting Products & Services > Cash Management > Resources from the top menu. 20 of 35

21 17. ACTIVATING THE DIVIDEND DIRECTION SERVICE There are two ways to activate Dividend Direction service for clients, one for new clients and another for existing clients: Activating Dividend Direction for new clients 1. Commence the process to add a New Client as normal 2. In step 3, select CBA Accelerator Cash Account to open a new CBA ACA for your client and make it the default settlement account 3. Once you select CBA Accelerator Cash Account, the Dividend Direction Service details will appear below 4. Select Yes to have the dividends for applicable CHESS sponsored holdings paid into your client s CBA ACA account Activating Dividend Direction for existing clients To activate an existing client s account for the Dividend Direction service, simply: 1. Have your client s dividends paid directly into their linked Commonwealth Bank Accelerator Cash Account 2. Conveniently opt-in or out of Dividend Direction on behalf of your clients online through the Client Account Details tab 1. The Dividend Direction feature is only available where your client s CommSec Adviser Services trading account is settling to a linked CBA Accelerator Cash Account 1. From the homepage select My Clients, then Find Client from the top menu navigation 2. Search for the client account and Select Client Profile from the Action Menu beside the client you wish to select 3. Select the Account Details tab, scroll down to Dividend Direction and choose Yes to receive dividend payments electronically 4. Click on the Save button 5. After entering your trading password select the Confirm button 6. The update can take up to 48 hours to take effect. 21 of 35

22 17 a. DE-ACTIVATING THE DIVIDEND DIRECTION SERVICE You may de-activate the Dividend Direction service on future holdings only. Your client will need to contact the share registries to have their account number removed for existing dividend payments. To de-activate a client s account for the Dividend Direction service, simply: 1. From the homepage select My Clients, then Find Client from the top menu navigation 2. Search for the client account and Select Client Profile from the Action Menu beside the client you wish to select 3. Select the Account Details tab, scroll down to Dividend Direction and choose No to receive dividend payments via post 4. Click on the Save button 1. Conveniently opt-in or out of Dividend Direction on behalf of your clients online through the Client Account Details tab 1. Your clients can manage their Dividend Direction preferences themselves by contacting the Share Registries directly. 5. After entering your trading password select the Confirm button 6. The update can take up to 48 hours to take effect 7. Your client will need to contact the relevant share registry to arrange a new payment method if they no longer wish to direct credit dividends from shares held on their account into their CBA Accelerator Cash Account. 22 of 35

23 18. RESEARCH TOOLS We know that access to incisive, up-to-date information makes smart investing simpler. That s why the CommSec Adviser Services website gives you extensive information as standard. However, if you would like even greater information to help better inform your investment decisions, you can subscribe to one of our three enhanced information packages: Research Plus Research Plus delivers detailed stock recommendations and a corporate events calendar, helping you to provide genuine insights to your clients. Extensive information as standard including: LexisNexis News Stand Company Announcements Enhanced market data including Market Indices, S&P ASX50, Sector Analysis and Market Watch MarketPro A dynamic market data platform powered by IRESS. Receive Dynamic online market data including detailed security information, comprehensive market overview information, advanced charting abilities with added indicators and tools, historical data and more. Combined Package Upgrade to our Combined Package which brings together all the great features of our Research Plus offering and MarketPro platform. The Print Screen button can be located on the upper ride side of every page. It is a useful function in sending the images and text currently on the display screen to the Printer. For more information on the features of the enhanced research subscription packages, select Administration > Alerts and Subscriptions from the main menu and click the subscriptions tab across the top of the screen. To subscribe to one of the three enhanced research packages, you will need to complete a Change of Information Services form available from the Forms page. Fees and charges apply. 23 of 35

24 19. ALERTS Alerts can let you know when your nominated stock(s) reach a specified price, volume or a company announcement is made. You can also use time alerts to get updates on stocks at times nominated by you throughout the day. As an adviser, you are automatically subscribed to our Alerts service, which you can set up and manage from the Watchlists > Alerts > View Alerts page. You can elect to receive alerts by SMS and/or when you add or edit an alert. 1. Setup SMS or alerts for the following notifications Price & Volume for Equities and Options, Announcements and Time Alerts 2. Setup alerts via the Watchlist menu 3. Add new alerts without knowing the exact ASX code using the predictive Stock Picker 4. Add multiple addresses and mobile numbers for alerts to be delivered to Cancel an alert at any time from the Watchlists > Alerts > View Alerts page. Simply click Edit next to the alert you wish to modify and select Remove. 24 of 35

25 20. QUOTES The consolidated Quotes page gives you fast access to intuitive information. All you need to know about a security is accessible from one page including full trading details plus price and snapshot charting for tracking individual stock movements. Then, if you decide to place a trade it s just one click to Buy or Sell. 1. Simply type in the code for the desired security if you know it or click the magnifying glass to look-up the code 2. Quick market depth available in the quote view 3. Quickly switch between a variety of views and information available Market Depth, Course of Sales, Option Series and Charts simply click the relevant tab With the Quick Quote or Search bar available in the top-right of every page, you re never more than one-click away from accessing quote information. Plus, search for content and functions on the website by typing in keywords. 25 of 35

26 21. ENHANCED CHARTING The Charts page gives you a great range of options for creating custom charts. You can: customise and save your chart displays; set up custom date ranges; choose from a variety of chart styles including Mountain, Candlestick and % change; add comparisons to another share price, Australian index or Australian sector; and much more. Powerful charting helps better inform your investment decisions by giving you amazing insight into market trends. Move your mouse cursor anywhere on the chart to view Open, High, Low and Close prices corresponding to that date. 26 of 35

27 22. CUSTOM PORTFOLIOS AND WATCHLISTS View your Watchlist as a Custom Portfolio and track the purchase price and profit and loss of each stock. You can create up to 50 different Watchlists and 50 Custom Portfolios, each containing up to 35 stocks. The watchlist overlay functionality allows you to view market depth, charts and announcements for stocks on your watchlist without having the leave the Watchlists page. Simply click on the stock you wish to view and select either Market Depth & Chart or Announcements from the Quick View menu. You can view and organise your Watchlists by selecting Watchlists from the main menu. COMMSEC ADVISER SERVICES USER GUIDE 1. Quick access to the Watchlists via the Quick Links menu at the top of each page 2. Both Market Sensitive and General Announcements are displayed against stocks in the Watchlist 3. Add and rename watchlists with a single mouse click 4. Download a Watchlist (in csv format) to use in your favourite financial application 1. Switch between Shares, Portfolio and Options views by clicking the view selector beneath the Watchlists drop-down menu 2. View up to 5 Watchlists at once by grouping them using the Group Watchlists function 27 of 35

28 23. REPORT CENTRE Take advantage of the new and improved Report Centre offering more than 20 reports including: Client Portfolio Holdings Portfolio Transaction History Pending Settlements Conditional Orders Confirmation Notes Report Account Trading History COMMSEC ADVISER SERVICES USER GUIDE 1. Generate a range of reports at client, adviser and dealer group level from the different tabs and their categories 2. Choose the format of the report before generating it 3. Enter a description for each report ACA and Term Deposit Account Balance and Transaction Reports, plus many more You can access the Report Centre by click Reports > Report Centre on the main menu. 4. Meet the Instant Report Criteria and have the report generate immediately. Otherwise, the report will be placed in the Report Queue. 28 of 35

29 Report Queue Whilst a number of reports are available instantly, some reports require time to generate and will become available from the Report Queue. You can download your reports from the Report Queue by clicking the blue Download link. Once a report has been successfully generated in the Report Queue, you can download and save the report On the Administration page, you can elect to receive up to five copies of your client s confirmation and options statements and order notifications for free. 29 of 35

30 24. ADMINISTRATION Clicking Administration>Adviser Details will take you to the Adviser Details page. On this page you can update your address, telephone number and address and set preferences for receiving confirmations and options statements and order notifications. Resetting your password You can reset your password by going to Administration > Manage Passwords. Please Note: If you have forgotten your password you will need to call us on to reset your password Batch Fee Collection Batch Fee Collection allows you to debit pre-agreed fees from your client s Accelerator Cash Accounts online in 5 simple steps when you have a signed Authority to Operate in place. 1. Download and complete a pre-populated client template file COMMSEC ADVISER SERVICES USER GUIDE Benefits of Batch Fee Collection Collect fees from multiple clients simultaneously Simplify your admin process Seamlessly transfer fees from your clients accounts to your Dealer Group No need to wait for cheques or for your Dealer Group to match incoming payments back to you 2. Upload the completed fee template and submit the file for processing 3. Client accounts are debited on the evening that the file is submitted 4. Debited amounts are sent to the Dealer Group account 5. Comprehensive reporting allows the Dealer Group to match client payments to advisers, providing a reliable audit trail and greater efficiency in the remitting of fees back to the adviser 30 of 35

31 Access the Batch Fee Collection screen by selecting Administration > Batch Fee Collection from the top menu. To get started, download the Admin Fee excel template containing a list of all your eligible client accounts by selecting You can delete any client accounts you do not want to debit from the Admin Fee Template. If you encounter a File is corrupt and cannot be opened error when you try to open the Admin Fee template, go to the Downloads folder on your computer and right click on the template file to open the menu, click Properties, then select Unblock and click OK. Next, complete the Amount and select the Transaction Type from the drop down menu for each client account. You will need to provide a short description to appear on both your client and Dealer Group s account statements. Please note this description must be a maximum of 18 characters and cannot contain special characters (letters and numbers only). 31 of 35

32 Once completed, save the template and return to the CommSec Adviser Services website to upload. To upload the template, click to select the file then click to upload the completed template. If the file is uploaded successfully, you will receive a message stating that the file has uploaded successfully and a Batch ID will be assigned. Client accounts are debited on the evening that the file is uploaded. An will be sent to you after the Batch has been processed advising that the entries were processed successfully. Upload the Admin Fee template by 5pm Sydney time to ensure payments are debited from client ACA s that evening. You can view the status of Batch Fee Collections you have uploaded at the bottom of the webpage under Batch History. To cancel a pending Batch Payment, simply click the X icon under Actions. Pending Batch Payments must be cancelled by 8pm Sydney time. 32 of 35

33 Errors and Warnings If the template cannot be uploaded successfully, you will receive an error message or warning message stating the file could not be uploaded. Select the Error/Warning icon to view the error and/or warning messages. If you have any errors (for example, insufficient funds in your client s bank account or a duplicate transaction) you will need to rectify the errors and reload the template to continue with the batch upload. If you wish to remove a specific account from the batch, simple delete the account from the fee template before uploading again. Before you can use the Batch Fee Collection functionality, your Dealer Group will need to establish a Commonwealth Bank Business Account and complete the Dealer Group Bank Account Nomination Form. The form can be found on the Forms & Downloads page. If you receive a warning message, select to continue with your file upload. Alternatively, you can amend your Admin Fee template and re-upload the file. If you do not accept the warnings you will not be able to proceed with your file upload. 33 of 35

34 Alerts & Subscriptions You can manage your Alerts and Subscriptions by clicking Administration > Alerts & Subscriptions. On the Alerts page, you can elect to receive free alerts and Conditional Order notifications by SMS or . The Subscriptions page provides you with information about the different levels of information services available to you, and the features of each level. You can change your service level by completing and returning a change in information services form. The form can be found on the Forms & Downloads page. Forms & Downloads Clicking Administration > Forms & Downloads will take you to the forms & downloads page where you can download application, administration and legal forms. 34 of 35

35 25. LOGGING OUT COMMSEC ADVISER SERVICES USER GUIDE To end your session on CommSec Adviser Services, simply click the Log out button in the top right corner of the screen. 26. ANY QUESTIONS? If you have any questions about using the CommSec Adviser Services website, please contact client support: Telephone: This information has been prepared without taking account of your objectives, financial situation or needs. Because of this, you should consider its appropriateness, having regard to your objectives, financial situation and needs and, if necessary, seek appropriate professional advice. If a Product Disclosure Statement is available in relation to a particular financial product, you should obtain and consider that Product Disclosure Statement before making any decisions about whether to acquire the financial product. Any securities or prices used in the examples on this website are for illustrative purposes only and should not be considered as a recommendation to buy, sell or hold. Past performance is not indicative of future performance. Share Trading and Portfolio Administration and Reporting are services provided by Australian Investment Exchange Ltd (AUSIEX) ABN AFSL , a Participant of the ASX Group and Chi-X Australia. AUSIEX is a wholly owned but nonguaranteed subsidiary of the Bank. CAS1024 (06/15) 35 of 35